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Net capital rule
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#	Item
391	Order Approving Proposed Rule Change and Amendment No. 1 Thereto Relating to a Proposed Interpretation to Rule 342 (Offices – Approval, Supervision, and Control); Rel. No[removed], File No. SR-NYSE[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-11-30 15:37:54 Financial regulation United States Securities Exchange Act New York Stock Exchange Securities Act U.S. Securities and Exchange Commission Federal Reserve System Net capital rule United States securities law 73rd United States Congress United States Securities and Exchange Commission
392	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-06-16 14:58:31 United States Securities and Exchange Commission United States securities law Financial markets 73rd United States Congress Options Clearing Corporation Short Securities Exchange Act Net capital rule Financial economics Financial system Finance
393	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-03-08 12:24:10 Investment United States securities law Financial regulation Short selling Chicago Board Options Exchange Net capital rule Option Pacific Exchange Short Financial economics Finance Financial system
394	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-12-07 12:42:18 Financial regulation 73rd United States Congress Law Securities Exchange Act NASDAQ Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Securities regulation in the United States Net capital rule United States securities law Economy of the United States United States Securities and Exchange Commission
395	Microsoft Word[removed]doc Add to Reading List Source URL: www.tn.gov Language: English - Date: 2008-10-03 16:43:02 Financial system Finance Broker-dealer Fixed income market Securities Exchange Act Net capital rule Financial economics Financial services United States securities law
396	Microsoft Word[removed]doc Add to Reading List Source URL: www.tn.gov Language: English - Date: 2009-01-02 14:11:51 Financial economics Business Financial accounting Securities Exchange Act Broker-dealer U.S. Securities and Exchange Commission Net capital rule Regulation S-X Finance SEC filings United States securities law
397	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-MSRB[removed]August 21, 2003 Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the Municipal Securities Rulemaking Board Rel Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-04-20 16:47:37 Financial economics Financial regulation Municipal Securities Rulemaking Board U.S. Securities and Exchange Commission Securities Exchange Act Telemarketing Broker-dealer Net capital rule Business Self-regulatory organizations United States securities law
398	Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Rules 104 ("Dealings by Specialists") and 123E ("Specialist Combination Review Policy") to Change the Exchange's Capital Re Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-12-20 13:00:24 Financial markets Financial risk Stock market United States housing bubble Net capital rule Securities Exchange Act Value at risk Exchange-traded fund New York Stock Exchange Financial economics Finance Investment
399	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-02-14 15:26:43 Financial services Institutional investors Depository Trust & Clearing Corporation Broker-dealer Federal Reserve System Mutual fund U.S. Securities and Exchange Commission Bank Net capital rule Financial economics Investment Finance
400	OCC: The Options Clearing Corporation; Order Granting Approval of a Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 Relating to Minimum Net Capital Requirements for Ap Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-10-04 16:53:18 United States Securities and Exchange Commission United States securities law Options Clearing Corporation 73rd United States Congress Stock market Securities Exchange Act Exercise Security U.S. Securities and Exchange Commission Financial economics Financial system Finance

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